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Compliance

Our compliance support focuses on financial services as well as international trade. The international trade and the financial facilitation thereof entail inherently high integrity risks. Our compliance support covers the following areas:

compliance Investigations and analysis

  • Independent auditing (industry compliance programs, specific compliance audits and “RIB” audits)
  • Organization-specific assessment of laws, regulations and related compliance obligations Governance, Risk, Compliance maturity investigations, including behaviour and culture
  • Gap analysis, when required followed by a remediation plan or action plan
  • Tests of design, Tests of effectiveness on compliance frameworks, resulting in practical expert advice
  • Enhanced investigations as part of Customer and Transaction Due Diligences (CDD an TDD)
  • Root-cause analysis in case of incidents, violations, misconduct / -behaviour
  • Look back exercises and transaction analysis in case of unusual transactions or suspected violations of compliance obligations

Compliance as a Service/Compliance Helpdesk

Many financial and non-financial institutions wish to outsource part of their compliance activities to a third party. We can accommodate this by means of:

  • Third party due diligence (KYC report)
  • Transaction due diligence, -monitoring and -screening
  • Regulatory compliance with financial supervisory laws
  • Classification of goods, technology, software and services (i.e. dual-use / military / EAR / ITAR)
  • Export control jurisdiction determinations
  • License applications
  • Regular monitoring and impact analysis of developments in (international) laws, regulations and standards defined by expert groups (e.g. FATF, Basel Committee, OECD, Wolfsberg, JMLSG, Wassenaar Arrangement)

compliance Training / workshops

Ongoing training programs are an indispensable part of a solid compliance programme. Successful training programs are aimed at creating and maintaining sufficient awareness in relation to integrity risks, and providing their staff with essential knowledge needed to carry their responsibilities in performing their duties. We are experienced in providing:

  • Boardroom briefings
  • Dilemma trainings (also on boardroom level)
  • Export compliance training & awareness sessions
  • Role play (“visit of an external supervisory authority”)
  • Compliance scrum sessions
  • Compliance gaming
  • Compliance officer / sanctions officer / export control officer / ethical officer training

Would you like to know how Governance, Risk & Compliance can help your business? Please contact our advisors:

Herman Annink Marlène Jans Jaap van Dijk   
T +31(0)20 653 36 66                  T +31(0)20 653 36 66            T +31(0)20 653 36 66      
E hannink@rsmnl.nl  E  mjans@rsmnl.nl E jvdijk@rsmnl.nl